Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$226,008,896,357
Number of Records: 
1,807
Note: 
The total includes only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The penalty dollar total above is adjusted to account for the fact that the list of entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. Duplicate penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$58,170,630,098115
JPMorgan Chase$29,684,489,39096
Citigroup$17,215,818,31464
Wells Fargo$14,710,307,58890
Deutsche Bank$12,489,545,40328
Royal Bank of Scotland$12,428,920,00015
Goldman Sachs$9,602,492,86026
BNP Paribas$9,542,129,75011
Credit Suisse$9,233,499,63018
Morgan Stanley$5,463,432,43550


Individual Penalty Records:

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Company Parent Primary Offense Type Year Agency Penalty Amountsort icon
Bank of America Corporation Bank of America mortgage abuses 2014 DOJ_CIVIL $16,650,000,000
JPMorgan Chase JPMorgan Chase toxic securities abuses 2013 DOJ_CIVIL $13,000,000,000
Bank of America Corporation Bank of America mortgage abuses 2012 DOJ_CIVIL $10,956,600,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $10,350,000,000
Bank of America Corporation Bank of America toxic securities abuses 2014 FHFA $9,300,000,000
BNP Paribas S.A. BNP Paribas economic sanction violation 2015 DOJ_CRIMINAL $8,973,600,000
Deutsche Bank Deutsche Bank toxic securities abuses 2017 DOJ_CIVIL $7,200,000,000
Citigroup Inc. Citigroup toxic securities abuses 2014 DOJ_CIVIL $7,000,000,000
Royal Bank of Scotland PLC Royal Bank of Scotland toxic securities abuses 2017 FHFA $5,500,000,000
Wells Fargo & Company Wells Fargo mortgage abuses 2012 DOJ_CIVIL $5,342,200,000
JPMorgan Chase & Co. JPMorgan Chase mortgage abuses 2012 DOJ_CIVIL $5,333,600,000
Credit Suisse Credit Suisse toxic securities abuses 2017 DOJ_CIVIL $5,280,000,000
Goldman Sachs Goldman Sachs toxic securities abuses 2016 DOJ_CIVIL $5,060,000,000
Royal Bank of Scotland Group plc Royal Bank of Scotland toxic securities abuses 2018 DOJ_CIVIL $4,900,000,000
Goldman Sachs & Co. Goldman Sachs toxic securities abuses 2014 FHFA $3,150,000,000
Bank of America Bank of America banking violation 2013 OCC $2,886,578,478
Morgan Stanley Morgan Stanley toxic securities abuses 2016 DOJ_CIVIL $2,600,000,000
Citigroup Inc. Citigroup mortgage abuses 2012 DOJ_CIVIL $2,202,000,000
Ocwen Financial Corporation and Ocwen Loan Servicing Ocwen Financial consumer protection violation 2013 CFPB $2,125,000,000
Wells Fargo Bank, N.A. Wells Fargo toxic securities abuses 2018 DOJ_CIVIL $2,090,000,000
Barclays Capital, Inc. Barclays toxic securities abuses 2018 USAO $2,000,000,000
Wells Fargo Wells Fargo banking violation 2013 OCC $1,991,141,181
JPMorgan Chase JPMorgan Chase banking violation 2013 OCC $1,958,450,341
Deutsche Bank AG Deutsche Bank toxic securities abuses 2013 FHFA $1,925,000,000
SAC Capital SAC Capital insider trading 2013 USAO $1,800,000,000
Credit Suisse AG Credit Suisse tax violations 2014 DOJ_TAX $1,800,000,000
JPMorgan Chase Bank JPMorgan Chase anti-money-laundering deficiencies 2014 USAO $1,700,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,520,000,000
MF Global Holdings Ltd. MF Global securities issuance or trading violation 2014 CFTC $1,312,000,000
Bank of America Bank of America toxic securities abuses 2011 FHFA $1,300,000,000
HSBC Holdings plc HSBC Bank USA N.A. HSBC anti-money-laundering deficiencies 2012 DOJ_CRIMINAL $1,256,000,000
Morgan Stanley Morgan Stanley toxic securities abuses 2014 FHFA $1,250,000,000
Wells Fargo Bank, National Association Wells Fargo False Claims Act 2016 DOJ_CIVIL $1,200,000,000
Citigroup Citigroup toxic securities abuses 2013 FHFA $968,000,000
Citicorp Citigroup foreign exchange market manipulation 2015 DOJ_CRIMINAL $925,000,000
Credit Suisse Credit Suisse toxic securities abuses 2014 FHFA $885,000,000
UBS Americas Inc. UBS toxic securities abuses 2013 FHFA $885,000,000
Wells Fargo Bank, National Association Wells Fargo toxic securities abuses 2013 FHFA $869,000,000
Deutsche Bank Deutsche Bank interest rate benchmark manipulation 2015 CFTC $800,000,000
American International Group, Inc. American International Group securities issuance or trading violation 2006 SEC $800,000,000
Citibank Citigroup banking violation 2013 OCC $793,492,868
UBS AG UBS tax violations 2009 DOJ_TAX $780,000,000
Deutsche Bank AG Deutsche Bank interest rate benchmark manipulation 2015 DOJ_CRIMINAL $775,000,000
Bank of America, N.A. Bank of America consumer protection violation 2014 CFPB $747,000,000
Citibank N.A. Citigroup consumer protection violation 2015 CFPB $733,800,000
Bank of New York Mellon Bank of New York Mellon banking violation 2015 USAO $714,000,000
Barclays PLC Barclays foreign exchange market manipulation 2015 DOJ_CRIMINAL $710,000,000
UBS AG UBS interest rate benchmark manipulation 2012 CFTC $700,000,000
Commerzbank AG Commerzbank economic sanction violation 2015 DOJ_CRIMINAL $642,000,000
ING Bank N.V. ING economic sanction violation 2012 DOJ_CRIMINAL $619,000,000
ING Bank N.V. ING economic sanction violation 2012 OFAC (*) $619,000,000
JPMorgan Chase JPMorgan Chase False Claims Act 2014 DOJ_CIVIL $614,000,000
CR Intrinsic Investors SAC Capital securities issuance or trading violation 2013 SEC $601,747,463
Prudential Equity Group LLC Prudential Financial securities issuance or trading violation 2006 DOJ_CRIMINAL $600,000,000
Wells Fargo Wells Fargo toxic securities abuses 2013 FHFA $591,000,000
Western Union Company Western Union anti-money-laundering deficiencies 2017 DOJ_CRIMINAL $586,000,000
Republic New York Securities HSBC fraud 2001 USAO $569,000,000
Deutsche Bank AG Deutsche Bank tax violations 2010 USAO $553,633,153
SunTrust Mortgage, Inc. SunTrust Banks consumer protection violation 2014 CFPB $550,000,000
JPMorgan Chase & Co. JPMorgan Chase foreign exchange market manipulation 2015 DOJ_CRIMINAL $550,000,000
Goldman Sachs & Co. Goldman Sachs toxic securities abuses 2010 SEC $550,000,000
HSBC North America Holdings Inc. HSBC toxic securities abuses 2014 FHFA $550,000,000
Bank Julius Baer & Co. Ltd. Julius Baer Group tax violations 2016 DOJ_TAX $547,000,000
UBS Securities Japan Co. Ltd. UBS interest rate benchmark manipulation 2012 DOJ_ANTITRUST $500,000,000
HSBC Bank USA, N.A. HSBC banking violation 2012 OCC $500,000,000
ABN AMRO Bank N.V. renamed the Royal Bank of Scotland N.V. ABN AMRO economic sanction violation 2010 DOJ_CRIMINAL $500,000,000
Wells Fargo Bank N.A. Wells Fargo banking violation 2018 OCC $500,000,000
Wells Fargo Bank N.A. Wells Fargo consumer protection violation 2018 CFPB $500,000,000
BC Capital Group S.A., BC Capital Group International Limited, and BC Capital Group Holdings S.A. BC Capital Group securities issuance or trading violation 2016 CFTC $490,246,741
Rabobank Rabobank interest rate benchmark manipulation 2013 CFTC $475,000,000
Societe Generale S.A. Societe Generale interest rate benchmark manipulation 2018 CFTC $475,000,000
HSBC Bank USA NA HSBC mortgage abuses 2016 DOJ_CIVIL $470,000,000
J.P. Morgan Chase Bank, N.A. JPMorgan Chase anti-money-laundering deficiencies 2014 FINCEN $461,000,000
U.S. Bancorp U.S. Bancorp anti-money-laundering deficiencies 2018 USAO $453,000,000
UBS UBS toxic securities abuses 2017 NCUA $445,000,000
SunTrust Mortgage Inc. SunTrust Banks False Claims Act 2014 DOJ_CIVIL $418,000,000
Merrill Lynch Bank of America investor protection violation 2016 SEC $415,000,000
JP Morgan Ventures Energy Corporation JPMorgan Chase energy market manipulation 2013 FERC $410,000,000
Bank of America Bank of America toxic securities abuses 2013 FHFA $404,000,000
Barclays Barclays interest rate benchmark manipulation 2015 CFTC $400,000,000
Federal National Mortgage Association (Fannie Mae) Fannie Mae accounting fraud or deficiencies 2006 SEC $400,000,000
Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. Citigroup investor protection violation 2003 SEC $400,000,000
Royal Bank of Scotland plc Royal Bank of Scotland foreign exchange market manipulation 2015 DOJ_CRIMINAL $395,000,000
Citimortgage Inc. and Citibank N.A. Citigroup toxic securities abuses 2013 FHFA $395,000,000
State Street Bank and Trust Company State Street Corp. investor protection violation 2016 SEC $382,400,000
HSBC Holdings HSBC economic sanction violation 2012 OFAC $375,000,000
Banc of America Capital Management LLC, BACAP Distributors LLC and Banc of America Securities LLC Bank of America securities issuance or trading violation 2005 SEC $375,000,000
Bank of America N.A. Bank of America banking violation 2012 DOJ_RIGHTS $370,000,000
Rabobank National Association Rabobank anti-money-laundering deficiencies 2018 DOJ_CRIMINAL $368,701,259
Citibank, National Association Citigroup banking violation 2014 OCC $350,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2014 OCC $350,000,000
JPMorgan Chase Bank, National Association JPMorgan Chase banking violation 2014 OCC $350,000,000
UBS AG UBS banking violation 2015 FED $342,000,000
BARCLAYS BANK PLC Barclays banking violation 2015 FED $342,000,000
CITIGROUP INC. Citigroup banking violation 2015 FED $342,000,000
JPMORGAN CHASE & CO. JPMorgan Chase banking violation 2015 FED $342,000,000
Countrywide Financial Corporation Bank of America mortgage abuses 2011 DOJ_RIGHTS $335,000,000
Citibank, N.A. Citigroup consumer protection violation 2018 CFPB $335,000,000
Goldman Sachs Goldman Sachs mortgage abuses 2013 FED $330,000,000
Credit Agricole Corporate and Investment Bank Credit Agricole economic sanction violation 2015 OFAC $329,593,585
Chase Bank USA, N.A. and JPMorgan Chase Bank, N.A. JPMorgan Chase consumer protection violation 2013 CFPB $329,000,000
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